Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CATERPILLAR INCCAT · Entity 2808 | CLO/General Counsel | June 07, 2023 | June 09, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CATERPILLAR INC
Report date June 07, 2023 · Filed June 09, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 13,890 |
Ending reported balance
After 2023-06-07 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-06-07 · Exercise / conversion · Acquired 20,529 · Balance 29,305 Row 2 · 2023-06-07 · Tax withholding · Disposed 15,415 · Balance 13,890 |
| Employee Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $127.60 · Expires 2030-03-02 | Direct | 0 |
Reported balance
After 2023-06-07 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-06-07 · Exercise / conversion · Disposed 20,529 · Balance 0 F1: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversary of the grant date. |
| Common StockSEC Table I · non-derivative | IndirectHeld by 401(k) Plan | 86 |
Reported balance
Holding disclosure · report date 2023-06-07 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 86 F2: The information in this report is based on a 401(k) plan statement dated as of May 31, 2023. |
Filing footnotes · ownership attribution and instrument terms
F1: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversary of the grant date.
F2: The information in this report is based on a 401(k) plan statement dated as of May 31, 2023.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 07, 2023 Filed Jun 9, 2023 10:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 20,529 | $127.60 Strike: $127.60 | $2,619,500.40 |
DisclosureSEC source: 0001104659-23-069580 · tm2318271-1_4seq1.xml · derivative · entry 4 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,529 shares Expires 2030-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversary of the grant date. Read SEC document |
| June 07, 2023 Filed Jun 9, 2023 10:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 15,415 | $231.32 | $3,565,797.80 |
DisclosureSEC source: 0001104659-23-069580 · tm2318271-1_4seq1.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,890 Read SEC document |
| June 07, 2023 Filed Jun 9, 2023 10:00 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 20,529 | $127.60 | $2,619,500.40 |
DisclosureSEC source: 0001104659-23-069580 · tm2318271-1_4seq1.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,305 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 06, 2023 Filed Mar 8, 2023 18:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 32,327 | $0.00 Strike: $253.98 | $0.00 |
DisclosureSEC source: 0001104659-23-030011 · tm238923-8_4seq1.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,327 Underlying: Common Stock · 32,327 shares Expires 2033-03-06 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| February 09, 2023 Filed Feb 10, 2023 22:28 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,364 | $251.65 | $343,250.60 |
DisclosureSEC source: 0001104659-23-018691 · tm236025-9_4seq1.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,776 F2 · price: This transaction was executed in multiple trades at prices ranging from $251.48 to $251.73. The price reported above reflects the weighted average sale (or purchase) price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| February 09, 2023 Filed Feb 10, 2023 22:28 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 6,636 | $250.91 | $1,665,038.76 |
DisclosureSEC source: 0001104659-23-018691 · tm236025-9_4seq1.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,140 F1 · price: This transaction was executed in multiple trades at prices ranging from $250.47 to $251.43. The price reported above reflects the weighted average sale (or purchase) price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 02:08 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 5,248 | $248.68 | $1,305,072.64 |
DisclosureSEC source: 0001104659-23-014715 · tm236025-6_4seq1.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,776 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligation arising from the vesting of performance-based stock units granted March 2, 2020. Read SEC document |
| February 07, 2023 Filed Feb 9, 2023 02:08 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 13,359 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-014715 · tm236025-6_4seq1.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,024 Read SEC document |
| November 11, 2022 Filed Nov 14, 2022 20:06 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 942 | $237.37 | $223,602.54 |
DisclosureSEC source: 0001104659-22-118391 · tm2230041-2_4seq1.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,665 Read SEC document |
| November 11, 2022 Filed Nov 14, 2022 20:06 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 942 | $237.19 | $223,432.98 |
DisclosureSEC source: 0001104659-22-118391 · tm2230041-2_4seq1.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,607 F1 · price: This transaction was executed in multiple trades at prices ranging from $237.17 to $237.20. The price reported above reflects the weighted average sale (or purchase) price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| April 20, 2022 Filed Apr 22, 2022 16:59 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 3,816 | $235.00 | $896,760.00 |
DisclosureSEC source: 0000018230-22-000100 · wf-form4_165064676804741.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,549 Read SEC document |
| March 17, 2022 Filed Mar 21, 2022 14:35 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 20,529 | $127.60 Strike: $127.60 | $2,619,500.40 |
DisclosureSEC source: 0000018230-22-000082 · wf-form4_164787329453316.xml · derivative · entry 8 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,529 Underlying: Common Stock · 20,529 shares Expires 2030-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 17, 2022 Filed Mar 21, 2022 14:35 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 16,011 | $138.35 Strike: $138.35 | $2,215,121.85 |
DisclosureSEC source: 0000018230-22-000082 · wf-form4_164787329453316.xml · derivative · entry 7 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,011 shares Expires 2029-03-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 17, 2022 Filed Mar 21, 2022 14:35 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 3,816 | $220.00 | $839,520.00 |
DisclosureSEC source: 0000018230-22-000082 · wf-form4_164787329453316.xml · nonDerivative · entry 5 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,365 Read SEC document |
| March 17, 2022 Filed Mar 21, 2022 14:35 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 20,529 | $220.00 | $4,516,380.00 |
DisclosureSEC source: 0000018230-22-000082 · wf-form4_164787329453316.xml · nonDerivative · entry 4 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,181 Read SEC document |
| March 17, 2022 Filed Mar 21, 2022 14:35 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 20,529 | $127.60 | $2,619,500.40 |
DisclosureSEC source: 0000018230-22-000082 · wf-form4_164787329453316.xml · nonDerivative · entry 3 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,710 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 17, 2022 Filed Mar 21, 2022 14:35 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 16,011 | $220.00 | $3,522,420.00 |
DisclosureSEC source: 0000018230-22-000082 · wf-form4_164787329453316.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,181 F1 · price: This transaction was executed in multiple trades at prices ranging from $220.00 to $220.01. The price reported above reflects the weighted average sale (or purchase) price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 17, 2022 Filed Mar 21, 2022 14:35 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 16,011 | $138.35 | $2,215,121.85 |
DisclosureSEC source: 0000018230-22-000082 · wf-form4_164787329453316.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,192 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 07, 2022 Filed Mar 8, 2022 23:23 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 32,887 | $0.00 Strike: $196.70 | $0.00 |
DisclosureSEC source: 0000018230-22-000073 · wf-form4_164678182188071.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,887 Underlying: Common Stock · 32,887 shares Expires 2032-03-07 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| February 08, 2022 Filed Feb 10, 2022 18:42 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 4,781 | $200.77 | $959,881.37 |
DisclosureSEC source: 0000018230-22-000039 · wf-form4_164451854858754.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,181 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 4, 2019. Read SEC document |
| February 08, 2022 Filed Feb 10, 2022 18:42 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 12,413 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-22-000039 · wf-form4_164451854858754.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,962 Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 20,529 | $127.60 Strike: $127.60 | $2,619,500.40 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · derivative · entry 19 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,058 Underlying: Common Stock · 20,529 shares Expires 2030-03-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F14 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 2, 2020 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 16,011 | $138.35 Strike: $138.35 | $2,215,121.85 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · derivative · entry 18 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,011 Underlying: Common Stock · 16,011 shares Expires 2029-03-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F13 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Option · Derivative | 15,480 | $151.12 Strike: $151.12 | $2,339,337.60 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · derivative · entry 17 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,480 shares Expires 2028-03-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F12 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 1,772 | $220.84 | $391,328.48 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 15 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,549 F10 · price: This transaction was executed in multiple trades at prices ranging from $220.21 to $220.97. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 3,050 | $219.69 | $670,054.50 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 14 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,321 F9 · price: This transaction was executed in multiple trades at prices ranging from $219.21 to $220.19. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,469 | $218.81 | $540,241.89 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 13 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,371 F8 · price: This transaction was executed in multiple trades at prices ranging from $218.21 to $219.16. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,685 | $220.80 | $592,848.00 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 12 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,840 F7 · price: This transaction was executed in multiple trades at prices ranging from $220.37 to $220.97. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 9,704 | $219.84 | $2,133,327.36 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 11 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,525 F6 · price: This transaction was executed in multiple trades at prices ranging from $219.37 to $220.33. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 8,140 | $219.03 | $1,782,904.20 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 10 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,229 F5 · price: This transaction was executed in multiple trades at prices ranging from $218.37 to $219.33. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 20,529 | $127.60 | $2,619,500.40 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 9 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,369 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 3,104 | $220.66 | $684,928.64 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 8 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,840 F4 · price: This transaction was executed in multiple trades at prices ranging from $220.27 to $220.97. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 8,346 | $219.74 | $1,833,950.04 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 7 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,944 F2 · price: This transaction was executed in multiple trades at prices ranging from $219.27 to $220.17. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 4,561 | $218.91 | $998,448.51 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 6 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,290 F1 · price: This transaction was executed in multiple trades at prices ranging from $218.27 to $219.26. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 16,011 | $138.35 | $2,215,121.85 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 5 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,851 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 2,920 | $220.68 | $644,385.60 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 4 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,840 F3 · price: This transaction was executed in multiple trades at prices ranging from $220.27 to $221.26. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 8,516 | $219.69 | $1,870,880.04 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 3 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,760 F2 · price: This transaction was executed in multiple trades at prices ranging from $219.27 to $220.17. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 4,044 | $218.92 | $885,312.48 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,276 F1 · price: This transaction was executed in multiple trades at prices ranging from $218.27 to $219.26. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 23:06 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 15,480 | $151.12 | $2,339,337.60 |
DisclosureSEC source: 0000018230-21-000121 · wf-form4_161541756298239.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,320 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 02:00 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantEmployee Stock Options · Derivative | 35,522 | $0.00 Strike: $219.76 | $0.00 |
DisclosureSEC source: 0000018230-21-000090 · wf-form4_161473682234673.xml · derivative · entry 1 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,522 Underlying: Common Stock · 35,522 shares Expires 2031-03-01 F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments on the first, second and third anniversaries of the grant date. Read SEC document |
| February 09, 2021 Filed Feb 11, 2021 20:44 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 4,471 | $196.78 | $879,803.38 |
DisclosureSEC source: 0000018230-21-000057 · wf-form4_161307624623202.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,840 F1 · shares: Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 5, 2018. Read SEC document |
| February 09, 2021 Filed Feb 11, 2021 20:44 UTC | CATERPILLAR INC CAT · Entity 2808 | GrantCommon Stock | 11,762 | $0.00 | $0.00 |
DisclosureSEC source: 0000018230-21-000057 · wf-form4_161307624623202.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · CLO/General Counsel 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,311 Read SEC document |
| October 30, 2020 Filed Nov 3, 2020 00:10 UTC | CATERPILLAR INC CAT · Entity 2808 | SaleCommon Stock | 3,687 | $155.00 | $571,485.00 |
DisclosureSEC source: 0000018230-20-000292 · wf-form4_160436223743755.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,549 Read SEC document |
| October 12, 2020 Filed Oct 13, 2020 22:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 30,960 | $0.00 Strike: $151.12 | $0.00 |
DisclosureSEC source: 0000018230-20-000261 · wf-form4_160262722969127.xml · derivative · entry 3 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,480 Underlying: Common Stock · 30,960 shares Expires 2028-03-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 5, 2018 and vest equally in 1/3 increments on the first, second and third anniversary of the grant date. Read SEC document |
| October 12, 2020 Filed Oct 13, 2020 22:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 29,728 | $162.74 | $4,837,934.72 |
DisclosureSEC source: 0000018230-20-000261 · wf-form4_160262722969127.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,236 Read SEC document |
| October 12, 2020 Filed Oct 13, 2020 22:14 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 30,960 | $151.12 | $4,678,675.20 |
DisclosureSEC source: 0000018230-20-000261 · wf-form4_160262722969127.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,964 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 09, 2020 Filed Sep 10, 2020 22:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 16,012 | $0.00 Strike: $138.35 | $0.00 |
DisclosureSEC source: 0000018230-20-000244 · wf-form4_159977759833032.xml · derivative · entry 3 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,022 Underlying: Common Stock · 16,012 shares Expires 2029-03-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. Long-Term Incentive Plan on March 4, 2019 and vest equally in 1/3 increments on the first, second and third anniversary of the grant date. Read SEC document |
| September 09, 2020 Filed Sep 10, 2020 22:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Tax withholdingCommon Stock | 15,070 | $154.67 | $2,330,876.90 |
DisclosureSEC source: 0000018230-20-000244 · wf-form4_159977759833032.xml · nonDerivative · entry 2 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,004 Read SEC document |
| September 09, 2020 Filed Sep 10, 2020 22:40 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionCommon Stock | 16,012 | $138.35 | $2,215,260.20 |
DisclosureSEC source: 0000018230-20-000244 · wf-form4_159977759833032.xml · nonDerivative · entry 1 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,074 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 04, 2020 Filed Aug 5, 2020 23:01 UTC | CATERPILLAR INC CAT · Entity 2808 | Exercise / conversionEmployee Stock Options · Derivative | 1,971 | $0.00 Strike: $95.66 | $0.00 |
DisclosureSEC source: 0000018230-20-000217 · wf-form4_159666850306674.xml · derivative · entry 4 Long Suzette M · CIK 0001698572 · General Counsel/Corporate Sec. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,971 shares Expires 2027-03-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan on March 6, 2017 and vest equally in 1/3 increments on the first, second and third anniversary of the grant date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.